RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••••• T••••••• L•••••••••
- L••••••••• F•••••••• S••••••• state registered currentsince May 6, 2022 · Des Moines, Ia
- L••••• F•••••••• G•••• independent RIAApr 20, 2017 to Oct 3, 2022 · Des Moines, Ia
- S••••• F•••••••• G•••• I•• formerSep 2, 2016 to Apr 12, 2017 · Des Moines, Ia
- V•• A••••••• S••••••• formerFeb 7, 2003 to Sep 1, 2016 · Huxley, Ia
- T•• M••••••• I••• unclassifiedJul 11, 2002 to Feb 7, 2003 · Des Moines, Ia
- L••••• F•••••••• G•••• to L••••••••• F•••••••• S•••••••left Oct 3, 2022, registered May 6, 2022 (-150 days) · RIA to a state-registered adviser · moved with a team
- S••••• F•••••••• G•••• I•• to L••••• F•••••••• G••••left Apr 12, 2017, registered Apr 20, 2017 (8 days) · Other
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 2, 2016 (1 days) · corporate re-registration, not a move
- T•• M••••••• I••• to V•• A••••••• S•••••••left Feb 7, 2003, registered Feb 7, 2003 (0 days) · corporate re-registration, not a move
- J••••• T••••••• L••••••••• left L••••• F•••••••• G•••• for L••••••••• F•••••••• S••••••• (registered 2022-05-06)Oct 3, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address